Whistleblowing, Securities Violations and the SEC Award Process

Webinar Qualifies For

• 1 CPE Credit of Taxes for Certified Public Accountants (CPA-US)
• 1 General Credit of Taxes for Accountant/Bookkeeper/Tax Professionals
• 1 CE Credit of Federal tax-related matters for Enrolled Agents (EA) (Approval No. GEHNZ-T-01104-22-O)
• 1 CE Credit of Federal tax-related matters for Annual Filing Season Program (AFSP)
• 1 CE Credit of Federal tax-related matters for California Registered Tax Preparers (CRTP) (Approval No. 6273-CE-0926)
• 1 CE Credit of Federal tax-related matters for Maryland Tax Preparer (MRTP) (Approval No. GEHNZ-T-01104-22-O)
• 1 CE Credit of Federal tax-related matters for Oregon Registered Tax Preparers (ORTP) (Approval No. GEHNZ-T-01104-22-O)
• 1 CE Credit for Certified Wealth Strategist (CWS)
• 1 CE Credit for Certified Fiduciary and Investment Risk Specialist (CFIRS)

About Instructor

Pamela Harper

, Griesing Law, LLC

Griesing Law, LLC – May 2017 to Present 

Member, Chair of Corporate Transactions & Compliance and Government & Regulatory Affairs Practice Groups – Represents and provides strategic advice to clients in connection with regulatory, compliance and corporate governance-related matters, particularly within the legal, non-profit and financial services sectors. Expertise in risk management and public policy. Drafts and updates client’s corporate compliance policies; advises educational institutions on  Title IX compliance; conducts sensitive confidential investigations and prepares investigative findings and recommendations for allegations of discrimination, harassment and retaliation. Conducts training and  cultural audits for in-house teams on diversity and inclusion, corporate culture and elimination of bias.  Highly sought speaker and writer on groundbreaking issues and lessons learned from high profile corporate scandals. Certified Compliance & Ethics Professional (CCEP) by the Compliance Certification Board.

GriesingMazzeo Leadership, LLC – June 2019 to Present Facilitator – Offers diversity and inclusion training and professional coaching to small businesses, middle market companies and diverse-owned businesses. Provides training and human resources advice on sexual harassment, elimination of bias, hiring and firing employees, maternity and FMLA leave, race and gender discrimination, LGBTQ rights, accommodations for disabled veterans and properly classifying independent contractors.

MFR Consultants, Inc. – 2004 to April 2017 

Chief Operating Officer and General Counsel – Supervised and oversaw daily management of information technology consulting firm’s operations. Established enterprise-wide risk management program, monitoring financial, operational, legal, and infrastructure risks. Developed corporate business continuity plan (BCP). Constructed contract management protocols to enhance internal operations infrastructure. Developed and implemented corporate branding strategy to enhance external visibility and employee engagement. Reviewed, negotiated and oversaw administration and compliance of contractual agreements. Collaborated with CEO and liaised with outside legal counsel. Developed policies and procedures governing human capital management. Implemented corporate strategic plan. Developed and administered corporate Code of Business Conduct and Ethics. 

StoneRidge Investment Partners – 2009 to 2014

Chief Operating Officer and Compliance Officer – Supervised and oversaw the daily management of asset management firm’s legal and compliance program as well as interpreting and applying the rules and regulations promulgated under the Investment Advisor Act of 1940. Established and chaired the Risk Assessment Committee which identified, documented and mitigated business, operational and regulatory risk, enterprise-wide. Monitored financial regulatory and legislative developments affecting the asset management industry and conducted regulatory analysis. Developed cybersecurity plan with IT department. Designed and enhanced the firm’s forensic testing policies and procedures to ensure compliance with federal regulations. Ensured compliance with client investment restrictions and guidelines. Instituted third-party mock audit and oversaw implementation of suggested recommendations. Acted as the primary liaison with Legal Counsel; reviewed all legal documents as well as third-party contracts, and served as the Assistant Secretary to the Board of Directors. Performed all due diligence in connection with investor syndicate-related acquisition candidates. Developed multiple policies and procedures, including those relating to political contributions, third party due diligence, marketing and whistleblower protocols. Ensured the firm’s compliance with SEC regulations; conducted annual compliance reviews and risk assessments; developed new policies/procedures in response to regulatory mandates; and oversaw the submission of all federal regulatory filings (ADV, 13F, etc.).

The Harper Group – 2003 to 2009

Principal – Senior Advisor affiliated with EConsult, an econometrics firm; Advised government entities, higher education institutions and closely-held businesses on public policy matters.

PA Consulting/GKMG – 1997 to 2003

Principal – As Principal of management consulting firm, worked with multiple internal practice teams on multi-disciplinary projects and was responsible for advising clients on market penetration strategies, comparative governance structures, Middle Eastern/North African bilateral and multilateral trade agreements and foreign investment laws and regulations.

Philadelphia Airport System – 1988 to 1997

Deputy Director of Aviation, Marketing & Government Affairs – Reported to the Director of Aviation and managed a staff of 100. Responsible for the management and implementation of the airport’s marketing initiatives and external affairs. Responsibilities included:

Government and Regulatory Affairs: Monitored regulatory and legislative developments; advocated  on behalf of the airport on regulatory matters in connection with airfield expansion, terminal  and air service development ; acted as the liaison with lobbyists to formulate the Airport’s position on regulatory and legislative matters. Briefed the Tri-State delegation and prepared white papers on regulatory, aeropolitical, public policy and capital funding matters.

Public Affairs/Marketing: Initiated new airport identity campaign and directed branding activity; developed collateral materials; oversaw market research; managed third-party agency relationships; developed public participation programs in connection with capital expansion projects in excess of $200 million; developed communication strategies for environmentally sensitive projects; primary liaison with all external stakeholders, including but not limited to elected officials, corporations and economic development agencies.

Business Development: Oversaw development and implementation of strategy to attract and expand international air service from Philadelphia to Munich, Frankfurt, London and Mexico City; coordinated stakeholder campaign in connection with the US-Italy route proceeding, leading to non-stop service to Rome. 

AFFILIATIONS

• Bar Admission: United States District Court, Eastern District of Pennsylvania; Commonwealth of Pennsylvania.
• Professional Recognition: The Legal Intelligencer, Unsung Heroes Award, 2021; Minority Enterprise Advocate Magazine 50 Influential Minorities in Business, 2004
• Community Leadership: Arthur Ross Gallery, Board of Directors; National Society of Compliance Professionals, Member; Society of Corporate Compliance and Ethics Professionals, Member. Previously held leadership positions and been actively involved in multiple civic, professional and philanthropic organizations including the Center for Emerging Visual Artists (CFEVA), The Forum of Executive Women, National Association of Securities Professionals, Philadelphia International Airport, Princeton Club of New York, Center for Architecture + Design, Atwater Kent Museum, Balch Institute of Ethnic Studies, First Person Arts, Ensemble du Monde (New York) and International House of Philadelphia.

 EDUCATION

• 
  
• University of Pennsylvania Law School, J.D.
• The Wharton School, University of Pennsylvania, M.B.A.
• Princeton University, A.B., cum laude

Additional Information

IRS APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: GEHNZ) has entered into an agreement with the Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the IRS as to the quality of the program or its contribution to the professional competence of the enrolled individual. Credit earned by attendees with a PTIN will be reported directly to the IRS as required of all providers. To ensure your CPE hours are reported, update your profile in My Account to include your PTIN number. Please note: IRS CE is only mandatory for EAs and ERPAs. For all other tax return preparers, CE is voluntary.

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

CTEC APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor ID# : 6273) has been approved by the California Tax Education Council to offer continuing education courses that count as credit towards the annual “continuing education” requirement imposed by the State of California for CTEC Registered Tax Preparers. A listing of additional requirements to register as a tax preparer may be obtained by contacting CTEC at P.O. Box 2890, Sacramento, CA, 95812-2890, toll-free by phone at (877) 850-2832, or on the Internet at www.ctec.org.